Securities / Derivatives

Enforcement

HKEX, SFC Censure Former Directors in First Joint Non-Cooperation Case

By Sanday Chongo Kabange | 13/08/2025

HKEX and the SFC have publicly censured two former directors of TOMO Holdings for failing to cooperate with investigations by the two regulators.

Securities / Derivatives

SEBI Proposes Single-Window Access for Trusted Foreign Investors

By Nithya Subramanian | 13/08/2025

The framework eases entry and compliance for low-risk global funds, reduces paperwork, and offers unified investment routes for government-linked and regulated funds.

Securities / Derivatives

Financial Giants Execute First Fully On-Chain US Treasury Repo Trade

By Manesh Samtani | 13/08/2025

The transaction used tokenised US Treasuries and USDC for atomic settlement, demonstrating the potential for 24/7 capital markets.

Securities / Derivatives

SEBI Proposes Lighter-Touch AIFs for Accredited Investors

By Editors | 12/08/2025

SEBI has issued proposals for a new fund category with fewer restrictions, signalling a long-term shift in how investor sophistication is measured.

Securities / Derivatives

Hong Kong Finalises ISO 20022 Trade Reporting Specifications

By Sanday Chongo Kabange | 12/08/2025

Regulators published a revised technical guide for OTC derivatives reporting. Reporting entities must declare system readiness by 12 September.

Securities / Derivatives

Australian Court Orders Fintech to Pay Penalty for Disclosure Breaches

By Editors | 11/08/2025

iSignthis Ltd and its former CEO were penalised for misleading conduct and failing to disclose material information, ASIC said.

Securities / Derivatives

India Imposes Restrictions on Mutual Fund Distributor Fees

By Manesh Samtani | 11/08/2025

SEBI scrapped transaction fees while AMFI imposed a 12-month lock-in on commissions to curb mis-selling and protect investors.

Securities / Derivatives

Korea FSS Warns on Commodity ETP Risks Amid Volatility

By Editors | 11/08/2025

The FSS highlighted the dangers of leveraged products and price discrepancies fuelled by geopolitical turmoil, urging particular caution from investors.

Securities / Derivatives

Vietnam Regulator Orders Stricter Oversight on Broker Conduct

By Editors | 11/08/2025

The move follows a 43% market surge since April that has sparked fears of a speculative bubble, with the directive banning unauthorised advice and profit-sharing deals.